SEC Staff Sharpening the Regulatory Focus on Employee Communications

19 October 2021

SEC report on Equity and Options Market Structure

19 October 2021

Short Selling Trading

SEC Advisory Committee Report and Recommendations for Private Investments

12 October 2021

Other Asset Management Regulation

Proposed Proxy-Related Disclosure Rules to Impact U.S. Investment Companies and Section 13(f) Institutional Investment Managers

05 October 2021

Reporting

Recent SEC Chairman Comments Provide Further Color to Regulatory Focus

05 October 2021

SEC issues sanctions for cybersecurity failures

07 September 2021

Cyber Developments Technology

SEC requests comment on digital engagement practices

07 September 2021

Cyber Developments Technology

SEC updates 2019 OCIE risk alert on fixed income principal and cross trades

22 July 2021

Risk management Americas

SEC addresses substituted compliance for UK and France

13 April 2021